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WINCAP FINANCIAL LLC
CRD 315798File 801-131123
APPROVED
Retail clients
Custody
Filing as of Jun 29, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$223.1M
Below cohort median (national)
Discretionary AUM
$223.1M
Clients
270
624 accounts
Employees
7
Bottom 25% of cohort in MA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Sep 13, 2024
- Principal office
- 55 UNION STREET, BOSTON, MA, 02108
- Phone
- (617) 590-3250
- Website
- https://wincapfinancial.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $223.1M
- Discretionary AUM
- $223.1M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 624
- Non-discretionary accounts
- 0
- Total accounts
- 624
- AUM per client
- $826K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $633K |
| High net worth individuals | 73 | $150.7M |
| Individuals (other than high net worth individuals) | 197 | $71.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 5 | 7 | increased by2 |
| Mar 1, 2026 | Custody | No | Yes | |
| Mar 1, 2026 | Clients | 204 | 270 | increased by66 |
| Mar 1, 2026 | AUM | $153,250,285 | $223,102,763 | increased by$69,852,478 |
| Mar 1, 2026 | Accounts | 466 | 624 | increased by158 |
| May 1, 2025 vs Oct 1, 2022 | Registration | APPROVED-120 | APPROVED | |
| May 1, 2025 vs Oct 1, 2022 | Employees | 1 | 5 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 80 | 204 | increased by124 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $37,600,000 | $153,250,285 | increased by$115,650,285 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 109 | 466 | increased by357 |
| Apr 1, 2022 | Employees | 2 | 1 | decreased by1 |
| Apr 1, 2022 | AUM | $0 | $37,600,000 | increased by$37,600,000 |
| Apr 1, 2022 | Accounts | 0 | 109 | increased by109 |
| Oct 1, 2021 | Registration | — | APPROVED-120 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WINCAP FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WINCAP FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.